Large Open Position Reporting - LOPR Portal Notification User Guide For Approved Participants of Bourse de Montréal inc. Regulatory Division Bourse de Montréal Inc. Document Version 2.0 March 2020

VERSION CONTROL REFERENCE Version Number Date Major Revisions

1.0 April 2016 First version of document

2.0 March 2020 Updates to Bourse’s new rule article numbers Housekeeping amendments

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TABLE OF CONTENTS 1 – OVERVIEW 4

1.1 – BACKGROUND 4 1.2 – LOPR NOTIFICATION PORTAL PURPOSE 4 1.3 – SCOPE 4 1.4 – AUDIENCE 5 1.5 – RELATED DOCUMENTATION AND CONTACT INFORMATION 5

2 – GETTING STARTED 5 2.1 – BEFORE YOU START 5 2.2 – LOGIN 5 2.3 – NAVIGATING IN YOUR WORKSPACE 7 2.4 – VIEWING YOUR PROFILE 7 2.5 – RESETTING YOUR PASSWORD 8 2.6 – LOGOUT 8

3 – SUBMITTING A REPORT 8 3.1 – NAVIGATING IN YOUR SUBMISSIONS TAB 9 3.2 – ADDING A NEW SUBMISSION 10 3.3 – VIEWING A PREVIOUS SUBMISSION 13

4 – LOGIN AS AN ADMINISTRATOR 14 4.1 – OBTAINING AN ADMINISTRATOR’S USER PROFILE 14 4.2 – ADMINISTRATOR FUNCTIONALITIES 14 4.3 – VIEWING ALL USER SUBMISSIONS 15 4.4 – CREATING A NEW USER 15 4.5 – EDITING OR DEACTIVATING AN EXISTING USER 17

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1 – OVERVIEW

1.1 – BACKGROUND As described in article 6.500, on a daily basis Participants of Bourse de Montréal Inc. (the “Bourse”) must submit reports of accumulated positions for Derivative Instruments (“LOPR Reports ” ). The Bourse provides LOPR reporting tools (“GUI” and “SAIL” access) to satisfy the large open position reporting requirements of the Bourse.

The LOPR Notification Portal (the “Portal”) is strictly reserved for exceptional situations where issues prevented the accurate and timely submission of LOPR Reports via the LOPR tools.

In such circumstances, the Portal provides a user-friendly and secure alternative for submitting LOPR Reports. The content of the submission will be transmitted to the Regulatory Division of the Bourse (the “Division”).

1.2 – LOPR NOTIFICATION PORTAL PURPOSE The Portal is to be used as an alternative or to provide supplemental information in the following circumstances:

● To provide corrections for erroneous or incomplete LOPR Reports filed within the 1

prescribed reporting deadline; To provide the LOPR Report when technical issues prevent its transmission in the usual prescribed manner;

● To provide the LOPR Report when the prescribed deadline has been missed; or ● To provide replacement or changes of unique identifiers.

The Portal does not in any way replace the prescribed manner in which LOPR Reports must be submitted to the Bourse.

1.3 – SCOPE

The LOPR Notification Portal User Guide describes how to use the Portal. The following topics are covered:

● Getting Started ● Submitting a Report ● Login as an Administrator

This guide does not cover LOPR Reporting Tools (GUI and SAIL access) used for prescribed daily submissions.

1 For the purpose of this document, corrections are restricted to erroneous or incomplete LOPR account records or position records provided for a given reporting day. This excludes any information regarding position transfers occurring after the reporting deadline (trade breaks, allocation errors, reconciliation, out trades).

1.4 – AUDIENCE The intended audience includes Approved Participants (“AP”) and Foreign Approved Participants (“FAP”) of the Exchange and their delegates.

1.5 – RELATED DOCUMENTATION AND CONTACT INFORMATION For additional information concerning the LOPR regulatory requirements, Participants may refer to our website at https://reg.m-x.ca/en/regulatory/lopr . For any questions pertaining to the functioning of the Portal and the submission of notifications, contact the Division at 514-787-6530, or by e-mail at lopr@tmx.com .

2 – GETTING STARTED This section covers the following topics:

● Login ● Navigating in your workspace ● Viewing your profile ● Changing your password ● Logout

2.1 – BEFORE YOU START

Before logging into the Portal, you must know your login credentials (username and password). This information is usually provided by the head of compliance. The Portal supports Users and Administrators profiles. The Administrator is responsible for creating login credentials for individuals selected by the Participant to submit notifications on its behalf ( Users ). Users have access to manage their password, view their submissions and submit notifications.

Refer to Section 4, Login as an Administrator for more information.

2.2 – LOGIN To access the Portal:

1. Go to https://lopr.m-x.ca/user/login

2. Complete the fields in the Login Information window.

3. Click Sign In .

4. If this is your first login, complete the Change Password window.

5. Click Submit . After three failed login attempts , you must reset your password as follows.

6. Click on Forgot your password button. The Password Recovery dialog window is displayed.

7. Select the Participant for which you are making a submission from the drop-down field.

8. Enter the corresponding email address.

9. Click on Submit .

2.3 – NAVIGATING IN YOUR WORKSPACE After a successful login, your Submissions Workspace is displayed.

The top section icons are defined in the following table.

Icons Definition

2.4 – VIEWING YOUR PROFILE

1. From the workspace top section, click on your User’s icon .

The User Profile window is displayed.

2. Click on Close .

2.5 – RESETTING YOUR PASSWORD

1. From the workspace top section, click on Settings . The Change Password dialog window is displayed.

2. Enter and confirm the new password 3. Click on Save Changes.

2.6 – LOGOUT When the session is over, you must log out from the Portal.

1. From the top section options, select Sign Out.

3 – SUBMITTING A REPORT This section describes how to submit a new entry in the Portal or view a previously submitted entry.

3.1 – NAVIGATING IN YOUR SUBMISSIONS TAB

Under the Submissions tab, the Submission Summary List will display the submissions which you are entitled to see. Note: If this is your first submission, the list is empty.

This workspace gives access to the following navigation functions:

Navigation items

For each entry in the Summary List , the following information is available:

Submissions Summary List Information

3.2 – ADDING A NEW SUBMISSION

1. From the Submissions tab, click on Add New [+] button.

2. Select the reason from the Reason drop-down list.

The New Submission dialog window is displayed as follows if you selected Missed Deadline or Technical Issue :

3. Select the Report Date from the calendar.

4. Enter an Explanation in the text field. This field is mandatory if you are not enclosing a file.

5. Add a checkmark next to Acknowledge in the warning section.

6. If you selected LOPR Correction :

a. Enter a Reason for Correction in the text field. This field is mandatory.

b. Review and acknowledge the specific LOPR warning.

7. If you have no positions to report and you are not enclosing a file, click Submit .

8. If you have positions to report and you are enclosing a file, click Submit & Add Files . Note: When submitting a report, you can attach files in the following formats; Excel (xls, xlt, xla, xlsx, csv), Word (doc, docx), Text (txt, rtf), image (jpg, jpeg, png, bmp, tiff) and PDF (pdf).

9. Browse to select a file to add or drop a file in the Upload File window and then click Submit .

The Confirmation window is displayed.

10. Click Close to exit the window.

11. If you selected Change in Owner ID , enter the information regarding the original and new owner.

12. Add a checkmark next to Acknowledge in the warning section and then click Submit .

3.3 – VIEWING A PREVIOUS SUBMISSION

1. From the Submissions Summary List , click in the View column for Details :

2. Click Close to exit the window.

4 – LOGIN AS AN ADMINISTRATOR This section covers the topics regarding an Administrator:

● Obtaining an Administrator’s profile ● Administrator’s functionalities ● Viewing all submissions from Users related to the participant ● Creating a new User ● Editing/Deactivating an existing User

4.1 – OBTAINING AN ADMINISTRATOR’S USER PROFILE

The Division creates an Administrator for each AP and FAP. The Chief Compliance Officer (CCO) of the AP or FAP will be attributed this profile by default.

Note : The Portal automatically transmits the login credentials to the CCO’s e-mail address upon the creation of the Administrator account. The CCO can delegate his/her Administrator credentials.

4.2 – ADMINISTRATOR FUNCTIONALITIES

Administrators have the same functionalities as users. In addition, the following privileges are available for the Administrator profile:

● Access to viewing all user submissions for their respective Participant. ● Creating/editing user profiles for their respective Participant.

When you login as an administrator, the Submissions and User Administration tabs are available from the workspace.

4.3 – VIEWING ALL USER SUBMISSIONS

1. After you login as an Administrator, select the Submissions tab.

The Submission Summary List displays the entries submitted by all Users in your Firm.

2. Click to display the Submission Details window.

You can view the content of Submitted By field.

3. Click Close to exit the window.

4.4 – CREATING A NEW USER

An administrator can create a maximum of four (4) users.

1. Select the User Administration tab. The Users Summary List is displayed.

2. Click on the User [+] button.

The New User dialog window is displayed.

3. Enter the following information in the corresponding fields regarding the new user (all fields are mandatory unless indicated as optional):

● Title (Mr. ,Mrs. ,Ms.) ● First Name ● Middle Name (Optional) ● Last Name ● Email Address ● Phone Number ● Language

4. Select Yes or No from the Part of Delegation drop-down list. This field is used to indicate if the user is the consequence of a LOPR delegation that has been approved 2

by the Division.

If you select Yes , provide the name of the individuals’ employer. 5. The Type field is set to User and cannot be modified. 6. Select Active from the Status drop-down field. 3

7. Select an option from the Permission drop-down list.

● View Own : users can only view their respective submission for the Participant. ● View All : users can see all the submissions for the Participant.

2 See Section 3.6 of the LOPR Regulatory Requirements Guide to obtain additional information on the delegation process. 3 Refer to section 4.3 of this guide to obtain more information pertaining to the purpose of this field.

8. Click Save Changes .

The Portal will automatically send login credentials to the user once you have completed the creation of the new user profile.

4.5 – EDITING OR DEACTIVATING AN EXISTING USER

You must deactivate any user that ceases to be employed by the Participant or if the delegation agreement is terminated.

1. From the Users Summary list, click in the Edit column of the user you want to edit or deactivate.

The Edit User window containing details about the selected user is displayed.

2. Make the needed modifications to the profile information. You can only modify the Status , Language or Permission fields.

3. To deactivate a user, select Deactivate from the drop-down list in the Status field.

4. When all changes are done, click Save Changes .

5. If you want to exit without saving the changes, click Close .

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